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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Rulebook Modules
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Rulemaking Instruments
2017
Media Releases
Notices
Financial Markets Tribunal
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  • 2017

    • RMI210/2017 Islamic Finance Rules (IFR) Rule-Making Instrument (No. 210) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 25 October 2017 and shall come into force on 1 January 2018.
      Amendments to Modules:
      (2) The Islamic Finance Rules (IFR) module — (IFR/VER11/02-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (IFR/VER12/01-18).
      Citation:
      (3) This instrument may be cited as the Islamic Finance Rules Rule-making Instrument (No. 210) 2017.
      (4) Appendix 1 to this instrument may be cited as the Islamic Finance Rules or IFR.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      25 October 2017

      RMI 210/2017

    • RMI209/2017 Prudential — Investment, Insurance Intermediation and Banking Business Module (PIB) Rule-Making Instrument (No. 209) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 25 October 2017 and shall come into force on 1 January 2018.
      Amendments to Modules:
      (2) The Prudential – Investment, Insurance Intermediation and Banking Business Module (PIB) — (PIB/VER29/01-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (PIB/VER30/01-18).
      Citation:
      (3) This instrument may be cited as the Prudential – Investment, Insurance Intermediation and Banking Business Module Rule-making Instrument (No. 209) 2017.
      (4) Appendix 1 to this instrument may be cited as the Prudential – Investment, Insurance Intermediation and Banking Business Module or PIB.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      25 October 2017

      RMI 209/2017

    • RMI208/2017 Prudential — Investment, Insurance Intermediation and Banking Business Module (PIB) Rule-Making Instrument (No. 208) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 14 June 2017 and shall come into force on 1 January 2018.
      Amendments to Modules:
      (2) The Prudential — Investment, Insurance Intermediation and Banking Business Module (PIB) — (PIB VER28_08-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (PIB VER29_01-18).
      Citation:
      (3) This instrument may be cited as the Prudential — Investment, Insurance Intermediation and Banking Business Module Rule-making Instrument (No. 208) 2017.
      (4) Appendix 1 to this instrument may be cited as the Prudential — Investment, Insurance Intermediation and Banking Business Module or PIB.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      14 June 2017

      RMI208/2017

    • RMI207/2017 Fees Rule Module (FER) Rule-Making Instrument (No. 207) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 14 June 2017 and shall come into force on 1 January 2018.
      Amendments to Modules:
      (2) The Fees Rule Module (FER) — (FER/VER15/08-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (FER/VER16/01-18).
      Citation:
      (3) This instrument may be cited as the Fees Rules Module Rule-making Instrument (No. 207) 2017.
      (4) Appendix 1 to this instrument may be cited as the Fees Rule Module or FER.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      14 June 2017

      RMI207/2017

    • RMI206/2017 Markets Rules Module (MKT) Rule-Making Instrument (No. 206) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 14 June 2017 and shall come into force on 1 August 2017.
      Amendments to Modules:
      (2) The Markets Rules Module (MKT) — (MKT VER09_02-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (MKT VER10_08-17).
      Citation:
      (3) This instrument may be cited as the Markets Rules Module Rule-making Instrument (No. 206) 2017.
      (4) Appendix 1 to this instrument may be cited as the Markets Rules Module or MKT.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      14 June 2017

      RMI 206/2017

    • RMI205/2017 Glossary Module (GLO) Rule-Making Instrument (No. 205) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 14 June 2017 and shall come into force on 1 August 2017.
      Amendments to Modules:
      (2) The Glossary Module (GLO) — (GLO VER37_02-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (GLO VER38_08-17).
      Citation:
      (3) This instrument may be cited as the Glossary Module Rule-making Instrument (No. 205) 2017.
      (4) Appendix 1 to this instrument may be cited as the Glossary Module or GLO.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      14 June 2017

      RMI 205/2017

    • RMI204/2017 Fees Rule Module (FER) Rule-Making Instrument (No. 204) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 14 June 2017 and shall come into force on 1 August 2017.
      Amendments to Modules:
      (2) The Fees Rule Module (FER) — (FER/VER14/01-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (FER/VER15/08-17).
      Citation:
      (3) This instrument may be cited as the Fees Rule Module Rule-making Instrument (No. 204) 2017.
      (4) Appendix 1 to this instrument may be cited as the Fees Rule Module or FER.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      14 June 2017

      RMI 204/2017

    • RMI203/2017 Prudential — Investment, Insurance Intermediation and Banking Business Module (PIB) Rule-Making Instrument (No. 203) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 14 June 2017 and shall come into force on 1 August 2017.
      Amendments to Modules:
      (2) The Prudential — Investment, Insurance Intermediation and Banking Business Module (PIB) — (PIB VER27_01-18) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (PIB VER28_08-17).
      Citation:
      (3) This instrument may be cited as the Prudential — Investment, Insurance Intermediation and Banking Business Module Rule-making Instrument (No. 203) 2017.
      (4) Appendix 1 to this instrument may be cited as the Prudential — Investment, Insurance Intermediation and Banking Business Module or PIB.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      14 June 2017

      RMI 203/2017

    • RMI202/2017 Conduct of Business Module (COB) Rule-Making Instrument (No. 202) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 14 June 2017 and shall come into force on 1 August 2017.
      Amendments to Modules:
      (2) The Conduct of Business Module (COB) — (COB VER28_02-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (COB VER29_08-17).
      Citation:
      (3) This instrument may be cited as the Conduct of Business Module Rule-making Instrument (No. 202) 2017.
      (4) Appendix 1 to this instrument may be cited as the Conduct of Business Module or COB.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      14 June 2017

      RMI 202/2017

    • RMI201/2017 General Module (GEN) Rule-Making Instrument (No. 201) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 14 June 2017 and shall come into force on 1 August 2017.
      Amendments to Modules:
      (2) The General Module (GEN) — (GEN VER39_05-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (GEN VER40_08-17).
      Citation:
      (3) This instrument may be cited as the General Module Rule-making Instrument (No. 201) 2017.
      (4) Appendix 1 to this instrument may be cited as the General Module or GEN.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      14 June 2017

      RMI 201/2017

    • RMI200/2017 Recognition Module (REC) Rule-Making Instrument (No. 200) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 19 April 2017 and shall come into force on 1 January 2018.
      Amendments to Modules:
      (2) The Recognition Module (REC) — (REC VER11_02-17) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (REC VER12_01-18).
      Citation:
      (3) This instrument may be cited as the Recognition Module Rule-making Instrument (No. 200) 2017.
      (4) Appendix 1 to this instrument may be cited as the Recognition Module or REC.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      19 April 2017

      RMI200/2017

    • RMI199/2017 Prudential — Insurance Business Module (PIN) Rule-Making Instrument (No.199) 2017

      Click here to view the Rulemaking Instrument in PDF format.

      The Board of the Dubai Financial Services Authority in the exercise of the powers conferred on them by Article 23 of the Regulatory Law 2004, hereby make the Rules in the appendix to this instrument. The appendix to this instrument also contains the guidance made by the Chief Executive in the exercise of the powers conferred on him under the Regulatory Law 2004.

      Commencement:
      (1) This instrument is made on 19 April 2017 and shall come into force on 1 January 2018.
      Amendments to Modules:
      (2) The Prudential — Insurance Business Module (PIN) — (PIN VER14_06-14) is repealed and replaced by Appendix 1 to this instrument and may be identified by the following reference — (PIN VER15_01-18).
      Citation:
      (3) This instrument may be cited as the Prudential — Insurance Business Module Rule-making Instrument (No.199) 2017.
      (4) Appendix 1 to this instrument may be cited as the Prudential – Insurance Business Module or PIN.

      By Order of the Board

      Saeb Eigner
      Chairman
                Ian Johnston
      Chief Executive

      19 April 2017

      RMI199/2017